Higher Education in Federal Countries: A Comparative Study
Publication Year: 2018
Higher Education in Federal Countries: A Comparative Study is a unique study of higher education in nine federal countries—the United States, Canada, Australia, Germany, Mexico, Brazil, Russia, China and India. In this book, leading international scholars discuss the role of federalism and how it shapes higher education in major nation-state actors on the world stage. The editors develop an overarching comparative analysis of the dynamics of central and regional power in higher education, and the national case studies explain how each federal and federal-like higher education system has evolved and how it functions in what are highly varied contexts.
- Front Matter
- Back Matter
- Subject Index
- Chapter 1: Introduction: Higher Education in Federal Countries
- Chapter 2: The United States of America: Changes and Challenges in a Highly Decentralized System
- Chapter 3: Canada: Provincial Responsibility, Federal Influence and the Challenge of Coordination
- Chapter 4: Australia: Benefits and Limits of the Centralized Approach
- Chapter 5: Germany: Continuous Intergovernmental Negotiations
- Chapter 6: Brazil: Problematics of the Tripartite Federal Framework
- Chapter 7: India: The Unfulfilled Need for Cooperative Federalism
- Chapter 8: Mexico: Dilemmas of Federalism in a Highly Politicized and Semi-decentralized System
- Chapter 9: The Russian Federation: Pragmatic Centralism in a Large and Heterogeneous Country
- Chapter 10: China: The ‘Commanding Height’ Strategy Revisited
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Copyright © Martin Carnoy, Isak Froumin, Oleg Leshukov and Simon Marginson, 2018
All rights reserved. No part of this book may be reproduced or utilised in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage or retrieval system, without permission in writing from the publisher.
Library of Congress Cataloging-in-Publication Data
Name: Carnoy, Martin, editor.
Title: Higher education in federal countries: a comparative study/edited by Martin Carnoy, Isak Froumin, Oleg Leshukov and Simon Marginson.
Description: Thousand Oaks, California, USA: SAGE Publications India Pvt, Ltd, 2018. | Includes bibliographical references and index.
Identifiers: LCCN 2018005262 | ISBN 9789352806713 (print (hb)) | ISBN 9789352806720 (e-pub 2.0) | ISBN 9789352806737 (e-book)
Subjects: LCSH: Higher education and state—Case studies. | Federal government—Case studies. | Central–local government relations—Case studies.
Classification: LCC LC171 .H547 2018 | DDC 378—dc23 LC record available at https://lccn.loc.gov/2018005262
ISBN: 978-93-528-0671-3 (HB)
SAGE Team: Rajesh Dey, Alekha Chandra Jena, Kumar Indra Mishra and Ritu Chopra
Published by Vivek Mehra for SAGE Publications India Pvt Ltd, typeset in 10.5/13 pt Bembo by Zaza Eunice, Hosur, Tamil Nadu, India and printed at Chaman Enterprises, New Delhi.
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SAGE Studies in Higher Education[Page ii]
Higher Education has become an important player in the global economy and has a dynamic and growing role in every society. Massification, differentiation, human resource development, knowledge development and transfer, internationalization and privatization are key characteristics of the global higher education landscape, although they manifest themselves in different ways depending on the type of institution, country and/or region of the world. Traditional divisions—such as those between North and South, developed and underdeveloped economies, universities and vocational schools, and so on—are no longer adequate to describe the dynamic and complex patterns of postsecondary education worldwide. SAGE Studies in Higher Education provides cogent discussion, analysis and debate of key themes in global higher education.Series Editors
Philip G. Altbach Research Professor and Founding Director Center for International Higher Education Boston College, USA
Hans de Wit Director Center for International Higher Education Boston College, USA
Laura Rumbley Associate Director Center for International Higher Education Campion Hall, Boston College, USA
Simon Marginson Professor of International Higher Education UCL Institute of Education University College London, UK
Claire Callender Professor of Higher Education Studies UCL Institute of Education and Birkbeck University of London, UK
List of Tables[Page vii]
- 1.1 Modes of Federalism, Nine Countries 5
- 1.2 Federalism in Higher Education, Nine Countries 6
- 2.1 Total Enrolment in Higher Education and Percentage in Two-year Institutions, by State 1970–2011 57
- 2.2 Enrolment in Private Higher Education Institutions, States 1970–2011 (%) 62
- 2.3 Estimated Higher Education Enrolment Growth, 1970–2011 and 1984–2011 67
- 2.4 Current Revenues by Source and Institutional Type, 1970–2011 (2010 Dollars; %) 74
- 2.5 Public Higher Education, Revenue/Full-time Student Growth Rate and Percentage of Revenue from Various Sources, 1995 and 2011 77
- 2.6 Public Higher Education Ranking of States by Percentage of Revenue from Various Sources in 1995 83
- 3.1 Area, Population and Unemployment Rate of Canada's Provinces and Territories 98
- 3.2 Key Figures on Public Universities and Colleges in Canada 101
- 3.3 Number of Private Postsecondary Institutions as of 2013, by Province 111
- 3.4 Provincial Income and Sales Taxes; Federal Transfers; FTE Student Funding and Provincial Operating Grants 113
- 3.5 Average Tuition, Postsecondary Education Attainment, Average Bachelor Degree Graduate Salary, Educational Migration, International Students, by Province 120 [Page viii]
- 4.1 Australian States and Territories: Land, History and 2014 Population and Economy 133
- 4.2 Australian States and Territories: Post-school Education, 2014 134
- 4.3 Rates of Completion of Schooling, 20–24 Years Old, States and Territories, 2011 137
- 4.4 Homogeneity and Stratification in Australian Higher Education, 2012–2014 149
- 4.5 Export Income from International Education 2014–2015, and International Student Enrolments in Higher Education 2014, by State/Territory 164
- 6.1 Higher Education Institutions by Type and Region for Brazil, 2014 222
- 6.2 Number of Students Entering in Undergraduate Programmes by Programme Type and Region, 2013 226
- 6.3 Annual Expenditure per State University Student by Region for Brazil, 2014 (in US$) 237
- 6.4 Growth of Total Number (Public Plus Private) of Higher Education Institutions by Region, 1998–2013 249
- 7.1 Growth of Higher Education in India 269
- 7.2 All Universities, by Type, from 2007–2008 to 2015–2016 270
- 7.3 Enrolment and Gross Enrolment Ratio in Higher Education, 2002–2003 and 2014–2015 (Distance Education Excluded) 272
- 7.4 Funding by University Grants Commission, 2005–2006 and 2014–2015 (ι in 10 Million in Current Prices and %) 288
- 7.5 Real Rate of Growth in Expenditure of the Union and State Governments on Higher Education, from 2000–2001 to 2011–2012 (%) 291
- 7.6 Budgeted Expenditures on Higher Education, by State, from 1990–1991 to 2011–2012 (ι in Current Prices per Capita) 296 [Page ix]
- 8.1 Higher Education Spending (in Million Pesos), 2016 320
- 8.2 Undergraduate Enrolment Growth by State and Administrative Control Type 326
- 8.3 Mexican HEIs by Type and Control Regime, 2014 328
- 8.4 Gross Enrolment in Higher Education by State 338
- 8.5 Higher Education Age Group Participation by Income Quintile, 2000–2010, Only Undergraduate, TSU and Normal 341
- 8.6 Total SNI Members, SNI Level III, and Indexed Documents, by State, 2014 345
- 9.1 The Structure of Tax Revenues for the Consolidated Budgets of the Regions of the Russian Federation, 1 March 2014 (%) 364
- 9.2 Sources and Scale of Higher Education Financing 370
- 9.3 The Distribution of HEIs (Without Branches) by Controlling Agency (2014–2015) 380
- 9A.1 The Indicators of Regional Variations, Federal State Statistics Service (2015) 399
- 10.1 Characteristics of Symmetric and Asymmetric Institution Pattern 416
- 10.2 Number of HEIs by Type and Sector (2013) 428
- 10.3 Some Characteristics of Large Tertiary Education Systems 449
- 10A.1 Characteristics of Symmetric and Asymmetric Systems 455
- 10A.2 Number of HEIs by Region (2013) 457
- 10A.3 Number of Admitted, Enrolled and Graduate Students (2012) 460
- 10A.4 Number of Enrolled Students for Every 100,000 Residents (2014) 462
- 10A.5 Mobility of Vocational College Students (2008) 464
- 10A.6 Revenue from Various Sources for Regional Institutions (2013) 466
- 10A.7 Per Student Fiscal Expenditure for Regional Institutions (2013) 468 [Page x]
List of Figures[Page xi]
- 2.1 Enrolment Growth, by Type of Institution, 1970–2010 51
- 2.2 United States: Percentage of 18- to 24-year-olds Enrolled in Higher Education, by Race, 1972–2012 53
- 2.3 United States: Percentage of 18- to 24-year-olds Enrolled in Higher Education, by Ethnicity, 1972–2012 54
- 2.4 United States: Proportion of International Students at the Undergraduate Level and at the Graduate Level in STEM Fields, 1980–2012 55
- 2.5 Higher Education Tuition and Fees by Institutional Type, 1974–2014 (2014 Dollars) 72
- 2.6 Proportion of Current Higher Education Spending Publicly Funded, by Type of Institution, 1970–2010 (%) 82
- 6.1 Structure of Higher Education in Brazil 220
- 7.1 Trends in Expenditure by Union and State Governments on Higher Education (in 2004–2005 Prices; ι10 Million) 290
- 7.2 Union–State Shares in Financing Higher Education (%) 292
- 7.3 India: Financing of Higher Education as a Proportion of GDP, Centre and State Governments, by Type of Higher Education, 2005–2006 and 2011–2012 (% GDP) 293
- 9.1 The Structure of Tax Revenues by Levels of the Budget System, 2015 363
- 9.2 Federal and Regional Budgets as a Share of the Consolidated Budget 364 [Page xii]
- 9.3 The Total Number of HEIs in Russia 368
- 9.4 The Total Number of Students at HEIs 369
- 9.5 The Number of HEIs Controlled by Federal and Regional Authorities 378
- 9.6 The Location of Universities Participating in the Russian Excellence Initiative 383
- 9.7 The Total Funding of Higher Education System from Public Sources (in Billion Roubles) 385
- 9.8 Average Funding per Student in the Region (Thousands of Roubles) and the Index of GRP per Capita Adjusted by Regional Consumer Prices, 2011 386
- 9.9 Russia: Level of Interregional Higher Education Migration, 2013 388
- 9.10 The Level of Higher Education Access (Equity) by Regions 390
- 9.11 Forecast of the Number of HEI Students 392
- 10.1 Central Government's Revenue and Expenditure Share (1953–2013) 423
- 10.2 Local Government's Revenue and Expenditure Share (1953–2013) 424
- 10.3 Four Tiers of the Higher Education Hierarchy in China 427
- 10.4 Expenditure per Student in Centre- and Region-affiliated Institutions 429
- 10.5 Three Higher Education Expansions in China (1949 to Date) 432
- 10.6 Number of Enrolled Undergraduate Students by Region (2012) 437
- 10.7 Number of High School and College Students for Every 100,000 Residents (2014) 438
- 10.8 A Synthesized Framework for Regional Tertiary Development 447
List of Abbreviations[Page xiii]
All-India Council for Technical Education
National Accord for the Modernization of Basic and Teachers’ Education
Australian National University
Academic Ranking of World Universities
Australian Universities Commission
basic educational opportunities grant
Bund-Länder-Kommission für Bildungsplanung und Forschungsförderung
Central Advisory Board of Education
Central Board of Secondary Education
chief executive officer
Council for Higher Education Accreditation
Canada Health Transfer
Canadian Information Centre for International Credentials
Canadian Institutes of Health Research
Council of Ministers of Education, Canada
National Research Council
National Council for Science and Technology
Canada Student Loans Program
Canada Social Transfer
Deutscher Academic Exchange Service
Education Commission of the States
educational opportunity grants
Excellent Research for Australia
Fund for Student Financing
Federation of Mexican Private Higher Education Institutions
Fund for the Modernization of Higher Education
Gross Domestic Product
guaranteed student loans
Goods and Services Tax
historically black colleges and universities
Higher Education Act
Higher Education Finance Agency
higher education institution
Higher School of Economics
Indian Council of Social Science Research
General Course Index
Indian Institute of Management
Indian Institute of Technology
National Polytechnic Institute
International Standard Classification of Education
Mexican Autonomous Technological Institute
Monterrey Technological Institute of Superior Studies
Joint Entrance Examination
Ständige Konferenz der Kultusminister der Länder in der Bundesrepublik Deutschland
Management Aptitude Test
Medical Council of India
Ministry of Human Resource Development
Ministry of Education and Science
National Assessment and Accreditation Council
National Board of Accreditation
No Child Left Behind
National Council for Teacher Education
National Defense Education Act[Page xv]
National Entrance Eligibility Test
National Eligibility Test
National Institute of Technology
Natural Sciences and Engineering Research Council
National Science Foundation
other backward classes
Organization for Economic Co-operation and Development
National Action Party
Prince Edward Island
Program for International Student Assessment
purchasing power parity
Partido Revolucionario Institucional (Institutional Revolutionary Party)
Program for the Improvement of the Professorship
regionally decentralized authoritarian
Rashtriya Uchchatar Shiksha Abhiyan
Official Recognition of Educational Validity
Public Education Secretariat
Undersecretariat for Higher Education
State Higher Education Executive Officers Association
National System of Higher Education Evaluation
National Researchers System
National Union of Education Workers
Social Sciences and Humanities Research Council of Canada
science, technology, engineering and mathematics
Technical and Further Education
Tertiary Education Quality and Standards Agency
Territorial Formula Financing
Autonomous Metropolitan University
University Grants Commission
National Autonomous University of Mexico[Page xvi]
public universities with solidarity support
National Pedagogical University
Vocational Education and Training
The idea for this book emerged from discussion in Beijing during the preparation of a book on the expansion of higher education in BRIC countries that was written by an American–Brazil–Chinese–Russian– Indian team (Carnoy et al. 2013). We noted that China and Russia had different approaches to the issue of the university development and governance at provincial (regional) level. While Russia had decided to maintain all of the public universities inherited from the Soviet Union under direct central responsibility, the Chinese government had devolved responsibility for the majority of public universities to provincial governments. This minor discovery initiated an active discussion on what might be the optimal model for governing a national system of higher education in a big and diverse country in which the regions play a significant role. In the course of this discussion, we touched on the further examples of India and the United States. We realized that from a scholarly viewpoint, it would be very interesting to look at this issue more systematically and in comparative perspective. At the same time, we felt that such a study might be useful for administrators who needed to find effective ways of managing the organization of a large public sector of higher education.
Until now, studies of higher education systems level have not paid much attention to questions of multilayer structure and governance. The most recent scholarly publication of significance that discussed this issue from a comparative perspective was derived from a symposium that took place in 1991 (Brown, Cazalis and Jasmin 1991). This provided important information about seven federal countries, with an emphasis on issues related to legal frameworks. However, in the more than a quarter of a century since that study was published, federal systems have evolved and changed.[Page xviii]
The conjunction of federalism and higher education is especially important for those countries that are required to adjust their governance system to meet the challenges of higher education expansion and growing global competition. Russia is one such country. The central government continues its search for an optimal model of federal– regional relationships in the different sectors. Hence, this study received enthusiastic support in Russia. The National Research University Higher School of Economics (HSE) awarded a specific research grant for the conduct of a comparative study and the preparation of a book.
Over the last five years, the Institute of Education of HSE in cooperation with leading foreign social scientists has maintained a research agenda that has been focused on the transformation of education systems in terms of massification, access to education and institutional differentiation. Perhaps, however, the importance of regional variations has been underestimated. In this book, we treat the regional level of higher education systems as a specific object of analysis. In this perspective, a national higher education system can be described as a set of regional educational subsystems, each with specific developmental paths, albeit affected by the whole national system.
The first plan for the research was presented by Isak Froumin in November 2012 during a conference in Peking University. An editorial group consisting of Isak Froumin, Martin Carnoy, Simon Marginson and Oleg Leshukov began by choosing case study countries and inviting research teams. The main selection criteria for the cases were (a) a high level of heterogeneity of regional development, (b) a relatively large scale of country and higher education system, and (c) the division of responsibility for higher education between national and regional levels of power. Using these criteria, the main cases selected were Australia, Brazil, Canada, India, Germany, Mexico, Russia and the Unites States. China was added because although it is formally a unitary rather than federal country, it meets criteria (a) to (c).
The resulting research group consisted of highly qualified and distinguished experts from each country: S. Marginson (University College London, United Kingdom), R. Verhine and L. Dantas (Federal University of Bahia, Brazil), G. Jones and C. Noumi (University [Page xix]of Toronto, Canada), Jandhyala B. G. Tilak (National University of Educational Planning and Administration, India), U. Teichler (University of Kassel, Germany), I. Ordorika, R. Rodríguez-Gómez and M. Lloyd (Universidad Nacional Autónoma de México, Mexico), I. Froumin and O. Leshukov (National Research University HSE, Russia), M. Carnoy, A. L. Antonio and C. R. Nelson (Stanford University, United States of America) and R. Wang and P. Yang (Peking University, China).
It was agreed that each case study must include at least three main parts; these are as follows:
- The overall context of national–regional relationships and federalism
- National–regional relationships in higher education, in terms of legal, economic and other aspects
- An evaluation of the implications of the country's model of national–regional relationships for the higher education sector, including the effects on regional higher education systems
The inquiry is focused on higher education at Level 5A (degree programmes) in terms of the UNESCO/OECD definition; Level 5B varies considerably between countries.
During the course of the project, there were several meetings of the editorial group. There was also a general workshop involving the participants, held in autumn 2014 under the auspices of the HSE Institute of Education and the Russian Association of Higher Education Researchers. The title of the workshop was ‘Higher Education Federalism: Governance and Development of Higher Education in “Federal Type” Systems’. Participants discussed first drafts of most of the chapters and reworked the general framework of the project.
Preliminary results of the project were presented at two international research events—the 2015 Summer School on ‘Higher Education Finance and the State’ organized by China Institute for Education Finance Research (Peking University) and the HSE Institute of Education in Peking; and the 2016 conference of the Comparative and International Education Society (CIES) in Vancouver.[Page xx]References1991. Higher Education in Federal Systems: Proceedings of an International Colloquium Held at Queen's University. Ottawa, Canada: Renouf Publishing., and eds.2013. University Expansion in a Changing Global Economy: Triumph of the BRICs? Stanford: Stanford University Press., , , , , , , and
The authors are grateful to the Rector of National Research University HSE, Yaroslav Kuzminov, for his support of the project. We thank the Moscow office of the World Bank for funding some stages of the project.
Also we would like to thank Philip Altbach for valuable advice at the first stage, and again in relation to publishing issues. We are pleased to be the first book published in the new series of SAGE Studies in Higher Education led by Philip.
We appreciate the contribution of the team at the HSE Institute of Education and Russian Association of Higher Education Researchers that organized the project workshop in 2014. We acknowledge the engagement of representatives of the Ministry of Education and Science of the Russian Federation, who participated in some project discussions at the workshop. It is pleasing to note that some of the results of the project have been used to inform policy recommendations in relation to the development of regional higher education systems in Russia.
Thanks also go to the Lemann Center for Educational Entrepreneurship and Innovation in Brazil at the Graduate School of Education, Stanford, which supported the contributions of Martin Carnoy and Robert Verhine, and the ESRC/HEFCE Centre for Global Higher Education at the Institute of Education at University College London, where Simon Marginson is based.[Page xxii]
About the Editors and Contributors[Page 470]Editors
Martin Carnoy is Vida Jacks Professor of Education and Economics at Stanford University, the United States. He was trained at the University of Chicago and writes on the economic value of education and the political economy of educational policy. Much of his work is comparative and international.
Isak Froumin is Professor and Academic Supervisor at the Institute of Education, National Research University Higher School of Economics, Russia. His current key research interests are the development of higher education systems, higher education differentiation and university and school governance.
Oleg Leshukov is Research Fellow at the Laboratory for Universities Development at the Institute of Education, National Research University Higher School of Economics, Russia. His current key research interests are development of regional higher education systems and national–regional relationships in governance of higher education.
Simon Marginson is Professor of International Higher Education at the UCL Institute of Education, University College London, United Kingdom. He is also the Director of the ESEC/HEFCE Centre for Global Higher Education and Editor-in-Chief of Higher Education. He focuses on global and international aspects of higher education, system design and education and social inequality.[Page 471]Contributors
Anthony Lising Antonio is Associate Professor of Education and Associate Director of the Stanford Institute for Higher Education Research at Stanford University, the United States. His research focuses on stratification and postsecondary access, racial diversity and its impact on students and institutions, student friendship networks and student development.
Lys M. V. Dantas holds a PhD in Education and is currently Professor at the Universidade Federal do Recôncavo da Bahia, Brazil. Her works involve topics in the fields of public administration and education.
Glen A. Jones is Professor of Higher Education and the Dean of the Ontario Institute for Studies in Education of the University, Toronto. His research focuses on higher education governance, systems and academic work.
Marion Lloyd is chief project coordinator for the General Directorate for Institutional Evaluation at the National Autonomous University of Mexico, Mexico. Her research focuses on comparative higher education policy, access and equity, university rankings and science and technology policies in Latin America.
C. Rose Nelson is a doctoral student at Stanford University, the United States, who studies the sociology of higher education.
Christian Noumi is a PhD candidate at the University of Toronto, Canada. His research focuses on comparative higher education. He holds an MA in Higher Education from the University of Kassel and a BA in History from the University of Yaoundé.
Imanol Ordorika is general director for institutional evaluation and a research professor at the Institute for Economic Research at the National Autonomous University of Mexico, Mexico. His work focuses on university politics and governance, international university rankings and student activist movements, among other topics.[Page 472]
Roberto Rodríguez-Gómez is a sociologist and full professor at the Institute of Social Research of the National Autonomous University of Mexico, Mexico. His main academic interests include comparative higher education policy, history of the university and innovation processes in university organizations.
Ulrich Teichler was Professor, from 1978 to 2013, and the Director, for many years, at the International Centre for Higher Education Research (INCHER-Kassel), the University of Kassel, Germany. He is a sociologist, who conducts research on higher education and the world of work, higher education systems, international cooperation and mobility and the academic profession.
Jandhyala B. G. Tilak, Economist of Education and former Full Professor and Vice Chancellor, National University of Educational Planning and Administration, is presently a Distinguished Professor at Council for Social Development, New Delhi, India.
Robert Evan Verhine is Full Professor of Education in the School of Education of the Universidade Federal da Bahia, Brazil. His research and publications deal with aspects related to the economics of education, comparative education and higher education evaluation.
Rong Wang is Full Professor and the Director of China Institute of Educational Finance Research, Peking University, China. Her main research interest focuses on education finance, economics of education and educational policy evaluation.
Po Yang is Associate Professor at Graduate School of Education, Peking University, China. She conducts research on economics of vocational education, higher education finance and policy evaluation.